Broker-Dealers Articles

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Wedbush To Pay $2.44 Million To Settle SEC Market Access Charges

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The brokerage firm will pay a $2.44 million penalty and admit to wrongdoing in a deal to settle civil charges over shoddy risk controls that let thousands of overseas traders gain access to U.S...

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Advisory Firm Shocked Finra Orders It To Pay $3.8M To ExxonMobil Retirees

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A Finra arbitration panel rules in favor of the retirees, who say they were told a "total return" model would increase their S&P 500 gains while reducing the risks of trading equities.

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Cetera Offers Specialized Consulting Resources To Advisors

by FA Staff

The Advanced Planning Group is a team of legal, tax and estate planning experts that provide support to advisors.

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Wells Fargo To Pay Brokers $7.4M To Settle Deferred Bonus Lawsuit

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The company has agreed to settle a claim that it unlawfully made brokers who left the firm forfeit bonuses that were deferred as part of their retirement plans.

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Morgan Stanley To Defer More Bonus Pay For Brokers In 2015

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Morgan Stanley, the world's largest brokerage firm, fired the first shot in Wall Street's pay formula wars by telling brokers more of their pay will be deferred in 2015 than in the past.

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Brokers Will Have To Live With CARDS, LPL Exec Says

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Broker-dealers probably won’t be able to kill Finra’s controversial CARDs proposal, so they should work to mold it to their liking, according to an industry compliance executive.

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HD Vest Enhances 1040 Analyst Tool

by FA Staff

Based on advisor feedback since its launch in June, HD Vest has now added 12 new functions to the tax analysis tool.

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LPL Adds Goss Wealth Management To Platform

by FA Staff

Based in Louisiana, Goss Wealth Management manages approximately $520 million in client assets.

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Goldman Partners Profit From No-Fee Private-Equity Funds

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Of all the perks bestowed on those selected as Goldman Sachs partners this week, the most uncommon may be access to a private fund named for a street that stretches two blocks at the southern tip of...

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